0001398344-19-022514.txt : 20191216 0001398344-19-022514.hdr.sgml : 20191216 20191216135014 ACCESSION NUMBER: 0001398344-19-022514 CONFORMED SUBMISSION TYPE: 24F-2NT PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191216 DATE AS OF CHANGE: 20191216 EFFECTIVENESS DATE: 20191216 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GUGGENHEIM FUNDS TRUST CENTRAL INDEX KEY: 0000088525 IRS NUMBER: 000000000 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 24F-2NT SEC ACT: 1933 Act SEC FILE NUMBER: 002-19458 FILM NUMBER: 191286611 BUSINESS ADDRESS: STREET 1: 702 KING FARM BOULEVARD STREET 2: SUITE 200 CITY: ROCKVILLE STATE: MD ZIP: 20850 BUSINESS PHONE: 301-296-5100 MAIL ADDRESS: STREET 1: 702 KING FARM BOULEVARD STREET 2: SUITE 200 CITY: ROCKVILLE STATE: MD ZIP: 20850 FORMER COMPANY: FORMER CONFORMED NAME: SECURITY EQUITY FUND DATE OF NAME CHANGE: 19920703 0000088525 S000008805 Guggenheim StylePlus - Large Core Fund C000023958 A SECEX C000023960 C SFECX C000110205 Institutional GILIX C000155959 P SFEPX 0000088525 S000008806 Guggenheim Alpha Opportunity Fund C000023961 A SAOAX C000023963 C SAOCX C000071557 Institutional SAOIX C000155960 P SAOSX 0000088525 S000008807 Guggenheim World Equity Income Fund C000023964 A SEQAX C000023966 C SFGCX C000100456 Institutional SEWIX C000155961 P SEQPX 0000088525 S000008809 Guggenheim SMid Cap Value Fund C000023970 A SEVAX C000023972 C SEVSX C000155962 P SEVPX 0000088525 S000022641 Guggenheim Small Cap Value Fund C000065507 A SSUAX C000065508 C SSVCX C000065509 Institutional SSUIX C000155963 P SSUPX 0000088525 S000022644 Guggenheim SMid Cap Value Institutional Fund C000065512 Mid Cap Value Institutional SVUIX 0000088525 S000043985 Guggenheim Limited Duration Fund C000136507 A-Class GILDX C000136508 C-Class GILFX C000136509 Institutional Class GILHX C000152100 R6 C000155965 P GILPX 0000088525 S000043986 Guggenheim Floating Rate Strategies Fund C000136510 A-Class GIFAX C000136511 C-Class GIFCX C000136512 Institutional Class GIFIX C000152101 R6 C000155966 P GIFPX 0000088525 S000043987 Guggenheim High Yield Fund C000136513 Institutional Class SHYIX C000136514 A-Class SIHAX C000136516 C-Class SIHSX C000152102 R6 C000155967 P SIHPX 0000088525 S000043988 Guggenheim Investment Grade Bond Fund C000136517 A-Class SIUSX C000136519 C-Class SDICX C000136520 Institutional Class GIUSX C000155968 P SIUPX 0000088525 S000043989 Guggenheim Macro Opportunities Fund C000136521 A-Class GIOAX C000136522 C-Class GIOCX C000136523 Institutional Class GIOIX C000152104 R6 C000155969 P GIOPX 0000088525 S000043990 Guggenheim Municipal Income Fund C000136524 A-Class GIJAX C000136525 C-Class GIJCX C000136526 Institutional Class GIJIX C000155970 P GIJPX 0000088525 S000043991 Guggenheim Total Return Bond Fund C000136527 A-Class GIBAX C000136528 C-Class GIBCX C000136529 Institutional Class GIBIX C000152106 R6 GIBRX C000155971 P GIBLX 0000088525 S000043992 Guggenheim Large Cap Value Fund C000136530 A-Class SECIX C000136532 C-Class SEGIX C000136533 Institutional Class GILCX C000155972 P SEGPX 0000088525 S000043993 Guggenheim StylePlus - Mid Growth Fund C000136534 A-Class SECUX C000136536 C-Class SUFCX C000136537 Institutional Class GIUIX C000155973 P SEUPX 0000088525 S000044539 Guggenheim Risk Managed Real Estate Fund C000138554 A-Class GURAX C000138555 C-Class GURCX C000138556 Institutional Class GURIX C000155974 P GURPX 0000088525 S000047517 Guggenheim Capital Stewardship Fund C000149218 Institutional GFCIX 0000088525 S000051594 Guggenheim Diversified Income Fund C000162308 Class A GUDAX C000162309 Class C GUDCX C000162310 Institutional GUDIX C000162312 Class P GUDPX 0000088525 S000052809 Guggenheim Market Neutral Real Estate Fund C000165920 Class A GUMAX C000165921 Class C GUMCX C000165922 Institutional GUMNX C000165923 Class P GUMPX 0000088525 S000063493 Guggenheim Ultra Short Duration Fund C000205703 Class A C000205704 Institutional 24F-2NT 1 fp0048666_24f2nt.htm

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 24F-2

Annual Notice of Securities Sold

Pursuant to Rule 24f-2

 

Read instructions at end of Form before preparing Form.

 

1.

Name and address of issuer:

Guggenheim Funds Trust

702 King Farm Boulevard, Suite 200

Rockville, MD 20850

2.

The name of each series or class of securities for which this Form is filed (If the Form is being filed for all series and classes of securities of the issuer, check the box but do not list series or classes): [  ]

 

This form is being filed for Guggenheim StylePlus–Large Core Fund A-Class, C-Class, P-Class and Institutional Class; Guggenheim Alpha Opportunity Fund A-Class, C-Class, P-Class and Institutional Class; Guggenheim World Equity Income Fund A-Class, C-Class, P-Class and Institutional Class; Guggenheim SMid Cap Value Fund A-Class, C-Class and P-Class; Guggenheim Small Cap Value Fund A-Class, C-Class, P-Class and Institutional Class; Guggenheim SMid Cap Value Institutional Fund Institutional Class; Guggenheim Limited Duration Fund A-Class, C-Class, P-Class, R6-Class and Institutional Class; Guggenheim Floating Rate Strategies Fund A-Class, C-Class, P-Class, R6-Class and Institutional Class; Guggenheim Diversified Income Fund A-Class, C-Class, P-Class and Institutional Class; Guggenheim High Yield Fund A-Class, C-Class, P-Class, R6-Class and Institutional Class; Guggenheim Investment Grade Bond Fund A-Class, C-Class, P-Class and Institutional Class; Guggenheim Macro Opportunities Fund A-Class, C-Class, P-Class, R6-Class and Institutional Class; Guggenheim Municipal Income Fund A-Class, C-Class, P-Class and Institutional Class; Guggenheim Total Return Bond Fund A-Class, C-Class, P-Class, R6-Class and Institutional Class; Guggenheim Large Cap Value Fund A-Class, C-Class, P-Class and Institutional Class; Guggenheim Market Neutral Real Estate Fund A-Class, C-Class, P-Class and Institutional Class; Guggenheim StylePlus–Mid Growth Fund A-Class, C-Class, P-Class and Institutional Class; Guggenheim Risk Managed Real Estate Fund A-Class, C-Class, P-Class and Institutional Class; Guggenheim Capital Stewardship Fund Institutional Class; Guggenheim Ultra Short Duration Fund A-Class and Institutional Class. 

3.

Investment Company Act File Number: 811-01136

 

Securities Act File Number: 002-19458

4(a). Last day of fiscal year for which this Form is filed: September 30, 2019
4(b).

[  ] Check box if this Form is being filed late (i.e., more than 90 calendar days after the end of the issuer’s fiscal year). (See Instruction A.2)

Note: If the Form is being filed late, interest must be paid on the registration fee due.

4(c). [  ] Check box if this is the last time the issuer will be filing this Form.

  

 

 

5. Calculation of registration fee:        
  (i) Aggregate sale price of securities sold during the fiscal year pursuant to section 24(f):     $

15,253,512,875

  (ii) Aggregate price of securities redeemed or repurchased during the fiscal year: $

14,379,506,730

    
  (iii) Aggregate price of securities redeemed or repurchased during any prior fiscal year ending no earlier than October 11, 1995 that were not previously used to reduce registration fees payable to the Commission: $

0

    
  (iv) Total available redemption credits [add Items 5(ii) and 5(iii)]:     $

14,379,506,730

  (v) Net sales -- if Item 5(i) is greater than Item 5(iv) [subtract Item 5(iv) from Item 5(i)]:     $

874,006,145

  (vi)

Redemption credits available for use in future years

--— if Item 5(i) is less than Item 5(iv) [subtract Item 5(iv) from Item 5(i)]:

 $

0

    
   
  (vii) Multiplier for determining registration fee (See Instruction C.9):     x

0.0001298

  (viii) Registration fee due [multiply Item 5(v) by Item 5(vii)] (enter “0” if no fee is due):     =$

113,446

             
6.

Prepaid Shares

 

If the response to Item 5(i) was determined by deducting an amount of securities that were registered under the Securities Act of 1933 pursuant to rule 24e-2 as in effect before October 11, 1997, then report the amount of securities (number of shares or other units) deducted here:               . If there is a number of shares or other units that were registered pursuant to rule 24e-2 remaining unsold at the end of the fiscal year for which this form is filed that are available for use by the issuer in future fiscal years, then state that number here:               .

7. Interest due -- if this Form is being filed more than 90 days after the end of the issuer’s fiscal year (see Instruction D): N/A
       
8. Total of the amount of the registration fee due plus any interest due [line 5(viii) plus line 7]: =$ 113,446
       
9.

Date the registration fee and any interest payment was sent to the Commission’s lockbox depository:  

 

Method of Delivery:

[X]  Wire Transfer

[  ]  Mail or other means

 

 

 

SIGNATURES

 

This report has been signed below by the following persons on behalf of the issuer and in the capacities and on the dates indicated.

 

(Signature and Title)* /s/ Jon Szafran  
 

Jon Szafran, Assistant Treasurer

  
     
Date December 16, 2019  

 

* Please print the name and title of the signing officer below the signature.